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JF

Joseph F. Fragnoli

Some features on this profile are disabled
CRD#: 2832124
JF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Francis Fragnoli SR, who also goes by Joe Francis Fragnoli, Joseph Francis Fragnoli, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Francis Fragnoli | Joseph Francis Fragnoli

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 7, 2017 - March 23, 2020

FINANCIAL GRAVITY ASSET MANAGEMENT, INC.

RIA
CRD#: 144008
Nashville, TN
Past

October 2, 2015 - February 21, 2017

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Nashville, TN
Past

September 16, 2015 - February 21, 2017

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Nashville, TN
Past

August 6, 2009 - November 25, 2009

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
FRANKLIN, TN
Past

July 17, 2009 - November 25, 2009

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
FRANKLIN, TN
Past

February 26, 1997 - November 3, 1998

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FG
FINANCIAL GRAVITY ASSET MANAGEMENT, INC.
FINANCIAL GRAVITY ASSET MANAGEMENT, INC. | SOFOS INVESTMENTS, INC. | POLLOCK ADVISORY GROUP, INC. | POLLOCK ADVISORY GROUP INC | POLLOCK ADVISORY GROUP | LEGACY TAX ADVISORY GROUP | FINANCIAL GRAVITY WEALTH, INC. | FINANCIAL GRAVITY WEALTH

CRD#: 144008 / SEC#: 801-109923

RIA
Registered Investment Advisory firm - (2/6/2017 Approved)
Colorado
Registered Investment Advisory firm - (3/17/2017 Terminated)
Illinois
Registered Investment Advisory firm - (2/6/2017 Terminated)
Ohio
Registered Investment Advisory firm - (3/15/2017 Terminated)
Pennsylvania
Registered Investment Advisory firm - (3/15/2017 Terminated)
Texas
Registered Investment Advisory firm - (3/14/2017 Terminated)
Wisconsin
Registered Investment Advisory firm - (3/14/2017 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/21/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/6/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/21/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/2015
General Securities Representative Examination

Current Firm

FG
FINANCIAL GRAVITY ASSET MANAGEMENT, INC.
FINANCIAL GRAVITY ASSET MANAGEMENT, INC. | SOFOS INVESTMENTS, INC. | POLLOCK ADVISORY GROUP, INC. | POLLOCK ADVISORY GROUP INC | POLLOCK ADVISORY GROUP | LEGACY TAX ADVISORY GROUP | FINANCIAL GRAVITY WEALTH, INC. | FINANCIAL GRAVITY WEALTH

CRD#: 144008 / SEC#: 801-109923

RIA
Registered Investment Advisory firm - (2/6/2017 Approved)
Colorado
Registered Investment Advisory firm - (3/17/2017 Terminated)
Illinois
Registered Investment Advisory firm - (2/6/2017 Terminated)
Ohio
Registered Investment Advisory firm - (3/15/2017 Terminated)
Pennsylvania
Registered Investment Advisory firm - (3/15/2017 Terminated)
Texas
Registered Investment Advisory firm - (3/14/2017 Terminated)
Wisconsin
Registered Investment Advisory firm - (3/14/2017 Terminated)
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Contact information

Main Address
2501 Ranch Road 620 S Ste. 110, Austin, TX 78734
Mailing Address
Phone number
+1 (800) 920-9722
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV2A FOR FG ASSET MANAGEMENT (12/20/2024)

Regulatory assets under management

Total Number of Accounts2,261
AUM (Assets Under Management)$ 469,128,095

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FINANCIAL GRAVITY ASSET MANAGEMENT, INC.

CRD#: 144008

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